Biography

Arizona Ethics Law

Our Services

What I Do

What follows is an overview of some common discipline and professional issues and topics that lawyers and law firms confront and that I address. There is much more substantive and procedural nuance and information that cannot be included here, but hopefully, this gives you a sense of the process.

Response to Bar Charges and Bar Complaints

First, a bar charge is not a bar complaint. A bar charge initiates an investigation of the lawyer’s conduct known as a screening investigation. A bar charge can also be made against an ABS. A screening investigation proceeds somewhat like the pre-charge phase of a white-collar criminal investigation except that a lawyer, now referred to as a Respondent, is required to cooperate with the Bar’s investigation. The lawyer receives written notice of the bar charge and the ethical rules at issue. The lawyer provides a written response and there is generally negotiation and exchange of information relevant to the charge. Depending on the nature and severity of the alleged misconduct, resolution can include dismissal of the bar charge with or without a comment, diversion (which is not discipline), or a consent agreement agreeing to an admonition, a reprimand, a short or long-term suspension, or disbarment.

Discipline Hearings

If the bar charge is not resolved, the Bar can seek a probable cause order from the Attorney Discipline Probable Cause Committee authorizing the filing of a formal complaint. If a formal complaint is filed, it unfolds much like a civil or administrative proceeding. There is a complaint, an answer, disclosure, joint pre-trial statements, and ultimately a hearing. There is also the opportunity for a settlement conference. The hearing itself must be held within 150 days of the filing of an Answer. Hearings may involve opening remarks, presentation of witnesses and documents, direct and cross examination, and closings. Hearings may also be held for lawyer reinstatement applications, disability proceedings, and matters of character and fitness.

Alternative Business Structures (“ABSs”)

An Alternative Business Structure or an “ABS” is a business entity that includes non-lawyers who have a material economic interest or decision-making authority in an entity that provides legal services, at least in part, and that is subject to the jurisdiction and to the Rules of the Arizona Supreme Court regarding the practice of law. To be a fit and proper ABS under the ACJA and Arizona’s Rules of Professional Conduct, an ABS must go through a rigorous application process, must have licensed Arizona lawyers to provide legal services, and must have an Arizona licensed compliance attorney.

Trust Account Issues

Trust accounting is not rocket science, but it requires robust attention to detail. In short, if a lawyer receives funds or property in which a client, a third party or entity has an interest, in whole or in part, the lawyer must segregate the funds in an IOLTA Trust Account and/or must otherwise segregate and safeguard the property. The lawyer must keep an accurate record (via a ledger or its equivalent) of the client funds or property such that the lawyer can provide a to the penny accounting of each client or third party's funds or property upon lawful request.

Ethics counseling

I have counseled and advised lawyers, law firms, judges, in-house counsel, public lawyers, and public agencies in a broad spectrum of ethics and issues involving professional conduct.

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Our Address

  • PO Box 447 Tempe, AZ 85280
  • Phone:602-373-3372
  • Email: jjb@jbelangerlaw.com
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